Serves as a compliance risk analyst for Independent Compliance Risk Management

(ICRM)’s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviours' that may violate regulatory rules or internal policies and procedures. When potentially anomalous behaviour is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defence to determine the appropriate resolution of the matter, which may include employee discipline. The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, and information barrier surveillance.

Responsibilities:

● Reviewing and analyzing surveillance alerts and/or reports relating to firm,

employee and client trading activity. Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.

● Gathering and analyzing trade data to assist in the Firm’s response to inquiries received from governmental and exchange regulatory bodies.

Additionally, supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner as well as interacting with legal and other compliance personnel.

● Additional activities including handling telephone hotlines and performing data entry in various systems.

● Can exercise independence of judgement and autonomy.

● Appropriately assess risk when business decisions are made,



demonstrating particular consideration for the firm's reputation and safeguarding Citigroup,

its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behaviour, conduct and business practices, and escalating,

managing and reporting control issues with transparency.

Qualifications:

● For Trade Surveillance: Previous experience with SMARTS (2+ years) is essential.

● For Trade Surveillance: Good product knowledge of Equities, Exchange

Traded Derivatives (ETD) or FI/FX products is required.

● 3+ prior years in a Surveillance or Compliance role.

● Knowledge of Compliance laws, rules, regulations, risks and typologies

● Excellent written and verbal communication skills. Fluent English is essential.

● Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization

● Proficient in MS Office applications (Excel, Word, PowerPoint)

Preferred Skills (Communication Surveillance):

● Robust Hindi, Tamil or Bengali languages (for Communication

Surveillance)

● Product knowledge of Equities, ETD, FI or FX instruments.

Preferred Skills (Trade Surveillance)

● Completion of the “AML-Transaction Monitoring & Suspicious Transaction

Reporting” training – a NISM eLearning Certification Course.

Education:

● Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus.

Email: [email protected]

📌 Compliance Analyst (Mumbai)
🏢 Straive
📍 Mumbai